ETF Compliance Analyst

ARK Investment Management Is Hiring:

ETF Compliance Analyst

Who We Are

ARK is a global investment manager focused solely on investing in disruptive innovation that is changing the way the world works. Majority Owner Catherine D. Wood founded ARK in 2014 on the belief that innovation is key to growth. Rooted in over 40 years of experience ARK aims to identify large-scale investment opportunities in the public and private markets resulting from technological innovations centered around genome sequencing robotics artificial intelligence energy storage and blockchain technology. We invest in the leaders enablers and beneficiaries of disruptive innovation.

ARK manages and sub advises long-only global equity and digital asset portfolios across a variety of investment vehicles including a suite of exchange traded funds (ETFs) a venture fund mutual funds and separately managed accounts. Our investments are backed by an open research ecosystem designed to identify innovations with the potential for long-term growth. ARK has greater than$20 billionassets under management.

ARK is committed to ensuring equal employment opportunities for all employees and strives to maintain an environment free of discrimination based on race color religion gender national origin ancestry age disability genetic information military or veteran status marital status sexual orientation gender identity citizenship or any other protected category or characteristics as defined by federal state or local laws. If you want to learn more please visit ourPhilosophypage to understand how ARK differs from traditional investment firms. We also encourage you to meet theARK teamand follow us onX.

*This is a Full-Time position based in our St. Petersburg FL Corporate Office.

What You Will Do

The ETF Compliance Analyst will support the firms investment trading and regulatory compliance program for a buy-side asset manager operating ETFs and/or advisory strategies. This role will be responsible for monitoring portfolio compliance trading activity investment guidelines regulatory requirements Code of Ethics obligations and ETF-specific controls.

The ideal candidate has experience with registered investment advisers ETFs mutual funds or other regulated asset management products and understands how compliance supports portfolio management trading operations product legal and fund governance functions. This role requires strong attention to detail sound judgment comfort with trading and portfolio data and the ability to work closely with investment professionals in a fast-paced environment.

This sample references common U.S. RIA and ETF compliance frameworks including SEC investment adviser compliance program requirements ETF Rule 6c-11 liquidity risk management requirements and adviser Code of Ethics obligations. These should be tailored to the firms actual products registrations and legal structure.

Your Responsibilities

Trading and Portfolio Compliance

• Monitor pre-trade and post-trade compliance with client guidelines fund restrictions investment policies prospectus limitations board-approved limits and regulatory requirements.
• Review portfolio holdings trade activity exposures concentrations liquidity restricted securities issuer limits sector limits diversification requirements and other investment restrictions.
• Partner with portfolio managers traders operations and technology teams to resolve trade compliance alerts and guideline exceptions.
• Review and escalate potential violations trade errors breaches restricted-list issues and other compliance matters.
• Support best execution oversight including broker review commission analysis trading practices trade allocation aggregation and broker-dealer monitoring.
• Assist with monitoring equity fixed income derivatives ETFs options futures swaps foreign securities private placements or other instruments as applicable to the firms strategies.
• Maintain and enhance compliance rules within trading and portfolio compliance systems.
• Review investment activity for consistency with stated investment objectives disclosures internal policies and client or fund mandates.

ETF and Registered Fund Compliance

• Support compliance oversight for ETF products including creation/redemption activity basket policies and procedures custom basket controls daily holdings processes and ETF operational requirements.
• Assist with monitoring fund compliance under the Investment Company Act of 1940 applicable exemptive relief ETF rules prospectus requirements and board-approved policies.
• Review ETF portfolio transparency holdings disclosure basket composition pricing/NAV-related controls and interactions with service providers where applicable.
• Coordinate with fund administrators custodians transfer agents index providers market makers authorized participants distributors and legal counsel on compliance-related matters.
• Assist with liquidity risk management derivatives risk management valuation fair value affiliated transactions cross trades and other registered fund compliance areas as applicable.
• Prepare compliance reporting for internal committees the CCO fund boards senior management and external service providers.

RIA Compliance Program Support

• Assist in maintaining and testing the firms compliance policies and procedures under the Investment Advisers Act and related SEC requirements.
• Support the firms annual compliance review risk assessment compliance testing program and remediation tracking.
• Assist with Form ADV Form CRS Form PF Form N-PORT Form N-CEN Form N-PX 13F 13H Schedule 13D/G Section 16 and other regulatory filings as applicable.
• Review marketing materials pitch books factsheets website content RFP responses performance presentations and client communications for compliance with firm policies and applicable regulations.
• Support compliance training for investment trading operations sales and client-facing personnel.
• Maintain books and records in accordance with applicable regulatory requirements and internal retention policies.

Surveillance Testing and Controls

• Conduct periodic testing of trading activity investment restrictions allocation practices restricted-list controls personal trading best execution and other compliance controls.
• Develop exception reports surveillance dashboards and testing procedures to identify potential compliance risks.
• Document reviews findings escalations corrective actions and approvals in a clear and organized manner.
• Assist with internal audits regulatory exams mock exams due diligence reviews and third-party service provider oversight.
• Identify opportunities to improve compliance workflows automate manual processes strengthen controls and enhance reporting.
• Track regulatory developments affecting RIAs ETFs registered funds trading disclosure and investment management practices.

Qualifications

• Bachelors degree in finance business economics accounting law or a related field.
• 4 years of compliance legal trading oversight fund operations portfolio compliance or regulatory experience within an asset manager RIA ETF issuer mutual fund complex hedge fund broker-dealer compliance consulting firm or financial regulator.
• Working knowledge of buy-side trading portfolio management investment guidelines trade lifecycle and compliance monitoring.
• Familiarity with SEC-registered investment advisers and registered funds including ETFs or mutual funds.
• Understanding of the Investment Advisers Act of 1940 Investment Company Act of 1940 Code of Ethics requirements best execution trade allocation personal trading and books and records obligations.
• Strong analytical skills and ability to review trading holdings exposure and compliance data.
• Excellent written and verbal communication skills including the ability to explain compliance issues clearly to investment and trading personnel.
• High level of integrity discretion judgment and professionalism.
• Strong organizational skills and ability to manage multiple priorities deadlines and recurring compliance responsibilities.

Preferred Qualifications

• Experience with ETFs index-based strategies active ETFs model portfolios SMAs mutual funds or multi-asset investment strategies.
• Experience with portfolio compliance systems.
• Knowledge of ETF creation/redemption processes custom baskets daily portfolio transparency authorized participants market makers and ETF capital markets operations.
• Familiarity with derivatives compliance liquidity risk management valuation fair value processes restricted securities Rule 144A securities and complex instruments.

How to Apply

To learn more about what its like to work at ARK please visit Experience:

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